About the Role
We are seeking candidates with 1–3 years of experience in financial services operations, middle office, or a related function. The ideal candidate brings a foundational understanding of trade processing, operational workflows, and regulatory reporting, and is eager to build on that experience while taking on greater responsibility within a fast-paced RIA environment.
What You’ll Do
Trade Processing & Settlement
- Capture, confirm, and settle daily trades across multiple asset classes (equities, fixed income, etc.).
- Monitor settlement cycles and resolve trade breaks or discrepancies promptly.
Reconciliation
- Perform daily cash and position reconciliations.
- Investigate exceptions, trade fails, and out-of-balance items to ensure accuracy across books and records.
Client Onboarding & Account Maintenance
- Support onboarding for new clients, including KYC and AML documentation reviews.
- Maintain account data, documentation, and system setup throughout the client lifecycle.
Regulatory Reporting & Compliance
- Partner with compliance and legal teams to ensure all activities meet SEC and FINRA rules.
- Assist with regulatory reporting requirements such as CAT, TRACE, and other trade-related filings.
Risk Management & Controls
- Adhere to internal control standards and operational risk frameworks.
- Support business continuity efforts and assist in maintaining documented procedures.
Process Improvement
- Collaborate with technology, front office, and operations teams to identify automation opportunities and streamline workflows.
- Contribute to continuous improvement initiatives that enhance accuracy and scalability.
What You Bring
Attention to Detail
- You’re comfortable working in high-volume, time-sensitive environments and can spot discrepancies quickly.
Financial Market Knowledge
- Understanding of securities, trade lifecycles, and how financial markets operate (coursework or internship experience is a plus).
Problem-Solving Ability
- You can assess issues, investigate root causes, and communicate findings clearly.
Technical Skills
- Familiarity with Excel, data management tools, and (ideally) systems such as DTCC or Bloomberg.
- Ability to learn new systems quickly.
Professional Skills
- Excellent communication, organization, and stakeholder-management abilities.
- Ability to work both independently and as part of a team.
Why This Role Matters
RIA Operations professionals are essential to maintaining the accuracy, integrity, and regulatory compliance of every trade a firm executes. This role sits at the center of a brokerage’s ecosystem; connecting trading desks, compliance, clearing firms, technology teams, and clients.
Your work directly contributes to market stability, client protection, and the smooth functioning of the financial system.
Career Path & Growth
A role in a RIA is a strong launchpad into:
- Compliance & Regulatory Reporting
- Client Services & Onboarding
- Middle Office & Front Office–adjacent roles
You’ll gain exposure to multiple teams and business lines, giving you a clear understanding of how a regulated firm operates end-to-end.